-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HmE6ZV7xhBLCp2rplQi2NVpYniZknVmUdiTVG8drsCOHoH5ByQjhpPLCGrVlz1lz t5lundaOjI+wlMkxubBfWw== 0001140361-10-045315.txt : 20101112 0001140361-10-045315.hdr.sgml : 20101111 20101112165051 ACCESSION NUMBER: 0001140361-10-045315 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BARING ASSET MANAGEMENT INC /MA/ CENTRAL INDEX KEY: 0000932463 IRS NUMBER: 042429117 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04544 FILM NUMBER: 101187470 BUSINESS ADDRESS: STREET 1: 470 ATLANTIC AVENUE STREET 2: INDEPENDENCE WHARF CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 6179465200 MAIL ADDRESS: STREET 1: 470 ATLANTIC AVENUE STREET 2: INDEPENDENCE WHARF CITY: BOSTON STATE: MA ZIP: 02210 13F-HR 1 form13f.txt BARING ASSET MANAGEMENT 13-F-HR 9-30-2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/2010 Check here if Amendment []; Amendment Number: ------- This Amendment (Check only one.): [] is a restatement. [] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Baring Asset Management, Inc. Address: Independence Wharf, 470 Atlantic Ave Boston, MA 02110-2208 Form 13F File Number: The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Persons Signing this Report on Behalf of Reporting Manager: Name: Patricia Ballard Title: Compliance Manager (US) Phone: 617-946-5225 Signature, Place, and Date of Signing: /s/ Patricia Ballard Boston, MA 11/11/2010 - --------------------------------- --------------------------------- ---------- [Signature] [City, State] [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 163 Form 13F Information Table Value Total: $ 2,861,694 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ -------------- --------- ----------- ------------------- ---------- ---------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ -------------- --------- ----------- ---------- --- ---- ---------- ---------- ---- --------- ---- ABBOTT LABS COM 002824100 3,540,670 67,777 X X SOLE 67,777 0 0 0 AT&T INC COM 00206R102 389,589 13,622 X X SOLE 0 0 13,622 0 ACTIVISION BLIZZ COM 00507V109 333,288 30,803 X X SOLE 0 0 30,803 0 AECOM TECH CORP COM 00766T100 8,296,579 341,986 X X SOLE 334,969 0 7,017 0 AGNICO EAGLE MINE COM 008474108 5,736,525 80,762 X X SOLE 80,762 0 0 0 AGNICO EAGLE MINE COM 008474108 42,663,202 583,229 X X SOLE 561,589 0 21,640 0 AGRIUM INC COM 008916108 18,045,519 240,639 X X SOLE 240,639 0 0 0 ALTRIA GROUP COM 02209S103 785,094 32,685 X X SOLE 0 0 32,685 0 AMAZON.COM INC COM 023135106 3,509,192 22,343 X X SOLE 22,343 0 0 0 AMERICA MOVIL SA ADR 02364W105 128,166,067 2,403,264 X X SOLE 2,142,837 0 260,427 0 AMERICAN TOWER COM 029912201 13,517,671 263,708 X X SOLE 257,737 0 5,971 0 AMERIPRISE FINANC COM 03076C106 9,961,120 210,461 X X SOLE 204,218 0 6,243 0 ANADARKO PETROLM COM 032511107 25,778,557 451,859 X X SOLE 447,443 0 4,416 0 ANGLOGOLD ASHANTI ADR 035128206 5,792,762 125,276 X X SOLE 80,001 0 45,275 0 AON CORP COM 037389103 360,829 9,226 X X SOLE 0 0 9,226 0 APPLE INC COM 037833100 26,955,683 94,998 X X SOLE 89,331 0 5,667 0 ARCHER-DANIELS COM 039483102 5,876,185 184,091 X X SOLE 173,854 0 10,237 0 AUTONAVI HLGS LTD ADR 05330F106 1,284,500 73,400 X X SOLE 73,400 0 0 0 BANCO BRADESCO ADR 059460303 64,372,513 3,158,612 X X SOLE 3,158,612 0 0 0 BCO SANTANDER-CHL ADR 05965X109 11,473,616 118,836 X X SOLE 118,836 0 0 0 BANK OF AMERICA COM 060505104 7,505,348 572,818 X X SOLE 541,541 0 31,277 0 BARRICK GOLD CORP COM 067901108 54,992,427 1,187,998 X X SOLE 1,181,228 0 6,770 0 BAXTER INTL COM 071813109 427,529 8,961 X X SOLE 0 0 8,961 0 BERKSHIRE HATHAWY COM 084670702 901,212 10,900 X X SOLE 3,650 0 7,250 0 BUCYRUS INTL INC COM 118759109 9,735,352 140,380 X X SOLE 136,461 0 3,919 0 BURGER KING HLDGS COM 121208201 419,094 17,550 X X SOLE 0 0 17,550 0 CBS CORPORATION COM 124857202 7,594,291 478,833 X X SOLE 465,220 0 13,613 0 CF INDUSTRIES COM 125269100 12,206,141 127,813 X X SOLE 127,813 0 0 0 CVS CAREMARK COM 126650100 3,638,656 115,623 X X SOLE 101,583 0 14,040 0 CDN NATURAL RESRC COM 136385101 16,817,461 484,738 X X SOLE 484,738 0 0 0 CATERPILLAR INC COM 149123101 16,679,139 211,987 X X SOLE 201,668 0 10,319 0 CHEVRON CORP COM 166764100 58,556,761 722,477 X X SOLE 717,477 0 5,000 0 CITIGROUP INC COM 172967101 3,324,274 850,198 X X SOLE 850,198 0 0 0 COCA-COLA CO COM 191216100 617,386 10,550 X X SOLE 0 0 10,550 0 COGNIZANT TECH COM 192446102 2,977,418 46,183 X X SOLE 46,183 0 0 0 COLGATE-PALMOLIVE COM 194162103 6,827,243 88,827 X X SOLE 82,327 0 6,500 0 COMERICA INC COM 200340107 9,826,435 264,507 X X SOLE 256,179 0 8,328 0 CERVECERIA UNIDAS ADS 204429104 5,782,035 103,900 X X SOLE 103,900 0 0 0 MINAS BUENAVENTRA ADR 204448104 89,379,955 1,978,308 X X SOLE 1,562,184 0 416,124 0 CUMMINS INC COM 231021106 14,795,246 163,339 X X SOLE 159,079 0 4,260 0 DARLING INTL INC COM 237266101 2,588,086 303,766 X X SOLE 303,766 0 0 0 DEERE & CO COM 244199105 5,793,694 83,028 X X SOLE 83,028 0 0 0 DIGITAL REALTY COM 253868103 8,311,051 134,701 X X SOLE 129,877 0 4,824 0 ECOLAB INC COM 278865100 10,601,919 208,946 X X SOLE 203,863 0 5,083 0 EMERSON ELECTRIC COM 291011104 3,357,654 63,761 X X SOLE 63,761 0 0 0 EXPRESS SCRIPTS COM 302182100 5,359,044 110,042 X X SOLE 88,366 0 21,676 0 FISERV INC COM 337738108 2,313,883 42,993 X X SOLE 42,993 0 0 0 FOMENTO ECON MEX ADR 344419106 10,275,108 202,545 X X SOLE 202,545 0 0 0 GENERAL ELECTRIC COM 369604103 2,149,274 132,263 X X SOLE 132,263 0 0 0 GENERAL MILLS COM 370334104 4,489,231 122,858 X X SOLE 122,858 0 0 0 GILEAD SCIENCES COM 375558103 475,037 13,340 X X SOLE 4,000 0 9,340 0 HALLIBURTON CO COM 406216101 38,292,383 1,157,919 X X SOLE 1,135,923 0 21,996 0 HEALTHSOUTH CORP COM 421924309 5,188,896 270,255 X X SOLE 270,255 0 0 0 HEINZ(HJ) CO COM 423074103 4,317,823 91,151 X X SOLE 91,151 0 0 0 HEWLETT PACKARD COM 428236103 5,059,843 120,272 X X SOLE 120,272 0 0 0 INFOSYS TECH ADR 456788108 4,537,906 67,418 X X SOLE 20,419 0 46,999 0 IBM CORP COM 459200101 19,294,832 143,841 X X SOLE 137,882 0 5,959 0 ISHARES INC ITR 464286657 244,196 5,113 X X SOLE 5,113 0 0 0 ISHARES INC ITR 464286731 528,762 39,023 X X SOLE 39,023 0 0 0 ISHARES TRUST ITR 464287242 1,605,878 14,200 X X SOLE 7,400 0 6,800 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ -------------- --------- ----------- ------------------- ---------- ---------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ -------------- --------- ----------- ---------- --- ---- ---------- ---------- ---- --------- ---- ISHARES TRUST ITR 464288513 327,548 3,652 X X SOLE 3,652 0 0 0 ITAU UNIBANCO HLG ADR 465562106 41,777,140 1,727,756 X X SOLE 1,727,756 0 0 0 JOHNSON & JOHNSON COM 478160104 702,565 11,339 X X SOLE 5,206 0 6,133 0 KELLOGG CO COM 487836108 6,923,608 137,074 X X SOLE 137,074 0 0 0 LAS VEGAS SANDS COM 517834107 11,216,648 321,855 X X SOLE 315,094 0 6,761 0 LIBERTY GLOBAL COM 530555101 5,119,759 166,172 X X SOLE 166,172 0 0 0 LIMITED BRANDS COM 532716107 9,049,953 337,937 X X SOLE 331,399 0 6,538 0 LOCKHEED MARTIN COM 539830109 8,112,376 113,810 X X SOLE 105,451 0 8,359 0 MCDONALDS CORP COM 580135101 12,792,921 171,694 X X SOLE 168,566 0 3,128 0 MECHEL OAO ADR 583840103 86,310,920 3,466,302 X X SOLE 3,466,302 0 0 0 MICROSOFT CORP COM 594918104 4,656,504 190,139 X X SOLE 190,139 0 0 0 MOBILE TELESYSTEM ADS 607409109 234,019,564 11,023,060 X X SOLE 10,397,861 0 625,199 0 NIPPON TEL & TEL ADR 654624105 724,434 33,049 X X SOLE 0 0 33,049 0 OCCIDENTAL PETRLM COM 674599105 14,452,378 184,577 X X SOLE 171,471 0 13,106 0 PNC FINANCIAL COM 693475105 2,873,634 55,358 X X SOLE 55,358 0 0 0 POSCO ADR 693483109 419,332 3,679 X X SOLE 3,679 0 0 0 PEABODY ENERGY COM 704549104 10,931,582 223,048 X X SOLE 217,499 0 5,549 0 PEPSICO INC COM 713448108 9,137,426 137,529 X X SOLE 137,529 0 0 0 PERKINELMER INC COM 714046109 639,428 27,633 X X SOLE 0 0 27,633 0 PFIZER INC COM 717081103 566,472 32,992 X X SOLE 15,638 0 17,354 0 PHILIP MORRIS INT COM 718172109 3,326,299 59,377 X X SOLE 59,377 0 0 0 PLUM CREEK TIMBER COM 729251108 3,453,470 97,832 X X SOLE 97,832 0 0 0 PROCTER & GAMBLE COM 742718109 531,214 8,858 X X SOLE 1,250 0 7,608 0 PROGRESS ENERGY COM 743263105 3,001,814 67,578 X X SOLE 67,578 0 0 0 QUALCOMM INC COM 747525103 11,388,149 252,327 X X SOLE 235,244 0 17,083 0 RANDGOLD RESOURCE ADR 752344309 129,107,850 1,272,500 X X SOLE 992,600 0 279,900 0 RAYONIER INC COM 754907103 3,987,798 79,565 X X SOLE 79,565 0 0 0 SAFEWAY INC COM 786514208 347,066 16,402 X X SOLE 0 0 16,402 0 SCHLUMBERGER LTD COM 806857108 682,947 11,085 X X SOLE 1,100 0 9,985 0 SILVER WHEATON CO COM 828336107 42,537,159 1,592,548 X X SOLE 1,592,548 0 0 0 SOUFUN HLDGS LTD ADR 836034108 1,688,162 25,900 X X SOLE 6,400 0 19,500 0 STEELCASE INC COM 858155203 -128,840 15,467 X X SOLE 15,467 0 0 0 SUCCESSFACTORS COM 864596101 8,867,823 353,159 X X SOLE 343,136 0 10,023 0 SUNCOR ENERGY INC COM 867224107 41,584,938 1,273,403 X X SOLE 1,273,403 0 0 0 SYMANTEC CORP COM 871503108 436,031 28,819 X X SOLE 0 0 28,819 0 TJXCOMPANIES INC COM 872540109 3,736,290 83,717 X X SOLE 83,717 0 0 0 TAIWAN SEMICONDUC ADS 874039100 39,162,435 3,862,173 X X SOLE 2,683,389 0 1,178,784 0 TATA MOTORS LTD ADR 876568502 2,628,933 103,055 X X SOLE 19,655 0 83,400 0 TERNIUM ADR 880890108 47,959,585 1,468,900 X X SOLE 1,155,100 0 313,800 0 THORATECH CORP COM 885175307 2,534,905 68,548 X X SOLE 68,548 0 0 0 US BANCORP COM 902973304 3,645,024 168,595 X X SOLE 168,595 0 0 0 UNION PACIFIC COM 907818108 9,091,662 111,145 X X SOLE 108,480 0 2,665 0 UNITED TECHNOLOGY COM 913017109 2,849,272 40,001 X X SOLE 40,001 0 0 0 VANGUARD INTL EQ ITR 922042874 249,836 5,128 X X SOLE 5,128 0 0 0 WAL-MART COM 931142103 11,033,309 206,153 X X SOLE 198,912 0 7,241 0 WELLS FARGO & CO COM 949746101 4,446,661 177,052 X X SOLE 177,052 0 0 0 WENDYS ARBYS GRP COM 950587105 -87,098 19,227 X X SOLE 19,227 0 0 0 WISCONSIN ENERGY COM 976657106 9,962,003 172,353 X X SOLE 167,607 0 4,746 0 BRF-BRASIL FOODS ADR 10552T107 17,192,021 1,107,020 X X SOLE 764,820 0 342,200 0 CA INC COM 12673P105 486,900 23,054 X X SOLE 0 0 23,054 0 CENTERPOINT ENRGY COM 15189T107 8,912,581 566,958 X X SOLE 522,502 0 44,456 0 CISCO SYSTEMS COM 17275R102 3,193,546 145,824 X X SOLE 145,824 0 0 0 CLIFFS NATURAL COM 18683K101 28,299,685 442,736 X X SOLE 442,736 0 0 0 SIDERURGICA NACL ADR 20440W105 9,718,500 550,000 X X SOLE 550,000 0 0 0 CIA DE BEBIDAS ADR 20441W203 72,742,976 588,345 X X SOLE 445,962 0 142,383 0 CTRIP.COM INTL ADS 22943F100 64,510,250 1,351,000 X X SOLE 934,500 0 416,500 0 DAVITA INC COM 23918K108 10,699,581 154,999 X X SOLE 151,263 0 3,736 0 DEVON ENERGY COM 25179M103 385,138 5,949 X X SOLE 0 0 5,949 0 DIRECTV COM 25490A101 14,835,850 356,374 X X SOLE 326,940 0 29,434 0 ENDESA(CHILE) ADS 29244T101 6,483,600 120,000 X X SOLE 120,000 0 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ -------------- --------- ----------- ------------------- ---------- ---------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ -------------- --------- ----------- ---------- --- ---- ---------- ---------- ---- --------- ---- EQUINIX COM 29444U502 5,951,958 58,153 X X SOLE 55,764 0 2,389 0 EXXON MOBIL CORP COM 30231G102 7,365,120 119,196 X X SOLE 96,810 0 22,386 0 FREEPORT-MCMORAN COM 35671D857 35,355,900 414,052 X X SOLE 414,052 0 0 0 GOLDMAN SACHS GRP COM 38141G104 650,610 4,500 X X SOLE 1,500 0 3,000 0 GOOGLE INC COM 38259P508 11,625,218 22,110 X X SOLE 21,742 0 368 0 HDFC BANK LTD ADR 40415F101 2,009,633 10,900 X X SOLE 2,900 0 8,000 0 ICICI BANK LTD ADR 45104G104 5,991,970 120,200 X X SOLE 9,500 0 110,700 0 JP MORGAN CHASE COM 46625H100 515,256 13,538 X X SOLE 0 0 13,538 0 KB FINANCIAL GRP ADR 48241A105 475,857 11,100 X X SOLE 11,100 0 0 0 KT CORP ADR 48268K101 36,885,288 1,802,800 X X SOLE 1,294,200 0 508,600 0 KRAFT FOODS INC COM 50075N104 3,060,479 99,173 X X SOLE 99,173 0 0 0 LONGTOP FIN TECH ADR 54318P108 354,150 9,000 X X SOLE 9,000 0 0 0 MACY'S INC COM 55616P104 2,801,358 121,376 X X SOLE 121,376 0 0 0 METLIFE INC COM 59156R108 3,714,846 96,615 X X SOLE 89,512 0 7,103 0 MONSANTO CO COM 61166W101 6,366,591 132,831 X X SOLE 124,161 0 8,670 0 MOSAIC CO COM 61945A107 4,623,824 78,690 X X SOLE 78,690 0 0 0 NETLOGIC MICROSYS COM 64118B100 7,080,585 256,729 X X SOLE 249,689 0 7,040 0 ORACLE CORP COM 68389X105 12,885,290 479,899 X X SOLE 471,510 0 8,389 0 PG & E CORP(HLDG) COM 69331C108 358,273 7,888 X X SOLE 0 0 7,888 0 PETROLEO BRASIL ADS 71654V408 67,581,674 1,863,294 X X SOLE 1,543,566 0 319,728 0 POTASH SASKATCHWN COM 73755L107 39,861,054 276,736 X X SOLE 267,561 0 9,175 0 PRINCIPAL FIN COM 74251V102 10,802,393 416,759 X X SOLE 406,290 0 10,469 0 SPDR S&P500 TRUST ITR 78462F103 4,963,742 43,492 X X SOLE 37,827 0 5,665 0 SELECT SECTOR ITR 81369Y803 475,294 20,647 X X SOLE 20,647 0 0 0 SHANDA GAMES LTD ADR 81941U105 79,328 14,800 X X SOLE 0 0 14,800 0 SHIRE PLC ADR 82481R106 4,440,480 66,000 X X SOLE 62,300 0 3,700 0 SOUTHERN COPPER COM 84265V105 16,759,264 477,200 X X SOLE 477,200 0 0 0 STARWOOD HOTELS COM 85590A401 1,781,760 33,906 X X SOLE 33,906 0 0 0 TW TELECOM INC COM 87311L104 3,375,710 181,783 X X SOLE 181,783 0 0 0 TIM PARTICIPACOES ADR 88706P106 18,078,520 548,000 X X SOLE 548,000 0 0 0 VALE S.A. ADR 91912E105 55,311,189 1,768,826 X X SOLE 1,768,826 0 0 0 VALE S.A. ADR 91912E204 155,073,828 5,588,246 X X SOLE 4,705,486 0 882,760 0 VARIAN MEDICAL COM 92220P105 3,471,914 57,387 X X SOLE 57,387 0 0 0 VIMPELCOM LTD ADR 92719A106 200,789,418 13,521,173 X X SOLE 12,479,783 0 1,041,390 0 VIRGIN MEDIA INC COM 92769L101 3,065,737 210,270 X X SOLE 115,070 0 95,200 0 VIRGIN MEDIA INC COM 92769L101 4,773,167 206,989 X X SOLE 195,723 0 11,266 0 WALTER ENERGY INC COM 93317Q105 24,183,287 297,494 X X SOLE 297,494 0 0 0 WIMM BILL DANN ADR 97263M109 93,317,747 4,125,453 X X SOLE 3,490,603 0 634,850 0 ZHONGPIN INC COM 98952K107 3,132,567 192,300 X X SOLE 192,300 0 0 0 ZIMMER HOLDINGS COM 98956P102 6,158,613 117,688 X X SOLE 114,069 0 3,619 0 MINDRAY MEDICAL ADR 602675100 18,696,824 645,163 X X SOLE 523,900 0 0 0 NEW ORIENTAL EDUC ADR 647581107 56,251,143 523,900 X X SOLE 523,900 0 0 0 E-HOUSE CHINA HLD ADS 26852W103 331,209 19,821 X X SOLE 19,821 0 0 0
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